Air Force Life Cycle Management Center
Standard Process
For
Self-Assessment Program
Process Owner: AFLCMC/IG
Date: 27 January 2015
Version: 1.4
Record of Changes.
Version
1.0
Effective Date
25 June 2013
1.1
1.2
5 August 2013
23 September 2013
1.3
21 February 2014
1.4
27 January 2015
Record of Changes
Summary
Standard process approved by S&P Board on 20 June
2013.
Corrected administrative errors in 5.2 & 6.1.6
Updated AFLCMC Unit Self Inspection (USAP)
Business Rules
MICT software 2.0.10 the following words changed:
“Deficiency” changed to “Observation”
“Clone checklist” changed to “Instance”
Business Rules added “Security (SE)” to para 1.0
Changed process owner from XP to IG.
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Self-Assessment Program (SAP) Process
1.0. Description. This is the AFLCMC process for executing the unit self-assessment program
(USAP) and will be performed by USAP managers and their monitors, assessors, reviewers
and organizational leaders. Self-assessment (SA) provides leaders with a tool for internal
assessment of unit health and complements external assessments. The Commanders
Inspection Program (CCIP) will replace reliance on external inspections with a trusted-andverified SAP/USAP process. Leaders will have the capability to inspect their unit’s ability
to execute the mission, manage resources, lead people and improve performance.
2.0. Purpose.
2.1. This process was in need of being standardized and streamlined after the stand-up of
Air Force Life Cycle Management Center (AFLCMC). There were multiple unitlevel processes that did not link into a standardized process across a geographically
dispersed AFLCMC utilizing a virtual environment. This complicated the ability of
senior leadership to garner a full perspective of the Center Self-Assessment Program.
2.2. CCIP assesses the same four major graded areas (MGA) and sub-MGAs as a unit
effectiveness inspection (UEI): manage resources, leading people, improving the unit
and executing the mission shown below in Figure 1.
Figure 1. CCIP Major Graded Areas (MGA and Sub-MGAs)
2.3. USAP is the cornerstone to the CCIP. The CCIP is the foundation of the Air Force
Inspection System (AFIS) and has two key components:
2.3.1. An inspection program, executed by the Center IG with support from subjectmatter experts (SME).
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2.3.2. A self-assessment program, using the Management Internal Control Toolset
(MICT), that reports compliance with requirements listed in Self-Assessment
Checklists (SAC) to the chain of command and appropriate staffs.
3.0. Entry/Exit Criteria.
3.1. Assessment
3.2. Entry - The annual unit SA for AFLCMC will have the flexibility to run SAs as their
workload and mission dictate from 1 April to 31 December each year. Financial
Management (FM) has a requirement to run their checklists twice a year
(May/November).
3.2.1. Exit - The annual SA cycle will end on 31 December for all of AFLCMC.
To be considered complete all checklists will be run within the last 9 months.
Once the Directorates/Group/Wing has completed their annual SA, the 2-Ltr
USAP Managers will prepare a completion report memo to be signed by their
commander/director and submitted to AFLCMC/XP in the month of
December.
3.2.1.1. Center SAP manager will notify the Command Self-Assessment
Program manager confirming completion of the AFLCMC annual
Self-Assessment.
3.3. Observations
3.3.1. Entry – Once a observation is identified a root cause analysis (RCA) is
opened.
3.3.2. Exit –Observations will be reported quarterly until they have closed. To be
closed, the corrective action plan (CAP) must be executed and the observation
closed by the reviewer/supervisor.
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4.0. Process Workflow and Activities.
4.1. Suppliers, Inputs, Process, Outputs, Customers (SIPOC). The chart below represents
the SIPOC.
Suppliers
Inputs
Process
Outputs
Customers
Center SAP manager,
2-ltr USAP managers,
USAP monitors,
Assessors,
Reviewers/Supervisors
Appointment letters,
MICT permissions,
checklists, MICT,
SharePoint
Execute
assessment
Completed and
approved
checklists
Center SAP manager,
Directors, Wing &
Group Commanders
Assessors,
Reviewers/Supervisors,
Directors, Wing &
Group Commanders
Completed/
approved checklists,
identified
observations,
RCA/CAP
Resolve
observations
Closed
observations
Center SAP manager,
Directors, Wing &
Group Commanders
Center SAP manager,
Functional 2-Ltr USAP
managers
Completed
checklists, identified
observations, MICT
reports
Data
analysis
Checklist change
recommendations
and feedback to
2-Ltr USAP
managers
2-Ltr USAP
managers, checklists
owners, Senior
Functionals &
MAJCOM FAMs
4.2. Process Flowchart. The process flowchart, Figure 2, below represents the steps to
standardize the self-assessment program process.
4.3. Work Breakdown Structure (WBS). The self-assessment program process is
structured in a WBS format which provides more details on steps shown in the
process flow chart. Figure 3 below is an excerpt from the WBS. For more detail see
the entire WBS provided as an Excel file, Attachment 1.
4.4. Work guidance package. Additional detailed instructions on the SAP process are
contained in the USAP Business Rules, Attachment 2.
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Figure 2. SAP Process Flowchart
AFLCMC Standard Process for Self Assessment Program (SAP)
Center SAP
Manager
1.1 Execute Assessment ----------------------------
1.2 Resolve Observations ----------------------------- 1.3 Conduct Data Analysis
2 Ltr USAP
Manager
1.1.2 Notify
Assessors to
Begin
Assessment
1.3.5 Advise
Directorates of
BOS checklists
Observations
Closed
1.1.1
1.2.7 Report
Open
Observations to
Center SAP
Manager
1.1.5 Reports
Closure to 2 Ltr
USAP Manager
1.3.2 Perform
Functional
Trend
Analysis
Supervisor
Assessor /
Checklist Owner
1.3.1 Perform Base
Operating Support
(BOS) Checklist
Trend Analysis
1.1.6 Provide
Signed Assessment
Closure Letter to
Center SAP
Manager
Functional Directorates
1.1.1 Notify USAP
Monitors to Begin
Assessment
USAP Monitor
Assessment
Cycle Closed
1.1.4 Approve
Assessment
Closure & Reports
to USAP Monitor
1.2.4 Approve
CAP
1.2.2 Conduct
Root Cause
Analysis (RCA)
1.2.3 Develop
Corrective
Action Plan
(CAP)
1.3.3 Out-brief
Senior
Functional
1.3.4 Notify
MAJCOM FAM
1.3.6 Advise
PEO/
Execution
Directorates
of Functional
Checklists
1.1.1
1.2.6 Monitor
CAP to Closure
and Close
Observation
No
1.1.3
Complete
USAP Checklist
in MICT
1.2.1
Observations
Yes
1.2.5 Execute CAP
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Figure 3. SAP Process WBS
Lvl WBS
Activity
Description
Execute the unit self-assessment program AFLCMC/XP
(USAP) to provide leaders with a standard
methodology to internally assess unit
health and complement external
assessments.
1
1.0
Execute SAP
Process
2
1.1
3
1.1.1
Execute
Assessment
Notify USAP
monitors to begin
assessment
1.1.2
3
1.1.3
3
1.1.4
3
1.1.5
3
1.1.6
2
1.2
3
1.2.1
3
1.2.2
From 1 April on 2-Ltr USAP manager will
notify USAP monitors within their
Directorate/Wing/Group; ensure
supervisors, monitors and assessors for
their 2-Ltr have correct permissions.
USAP monitor
USAP monitor notifies assessors. For an
notifies assessors
out-of-cycle run of checklist, assessors
will be notified by email when checklists
have been changed by FAMs. Out-ofcycle run of checklist has a 90-day
requirement to complete.
Assessors complete Assessors complete USAP checklist(s)
USAP checklist(s)
and notify reviewer/supervisor
Approve assessment Reviewer/ Supervisor approves
closure
assessment closure
Report closure to 2- Once all checklists in their workcenter are
Ltr USAP manager complete, USAP monitors report closure
to 2-Ltr USAP manager
Provide signed
Once all checklists in their execution
assessment closure directorate are complete and have been
letter to Center SAP run once within the last 9 months, 2-Ltr
manager
USAP managers will report closure to
center SAP manager by the Assessment
Closure Letter signed by the Director in
December each year.
Resolve
Observations
Identify
While completing the checklists the
observations
Assessor identifies a observation.
Observations on functional checklists are
reported to the respective functional 2-Ltr
USAP manager in addition to their
Reviewer/Supervisor
Conduct Root
Assessor conducts RCA on observation.
Cause Analysis
This may include an 8-step methodology
(RCA) on
scaled to the scope/severity of
observation
observation. Assessor may need training
in RCA or 8 Step.
OPR
Duration
9 Months
2-Ltr USAP
managers
USAP monitors
Assessor
Reviewer/
Supervisor
USAP monitors
2-Ltr USAP
managers
Assessor
Assessor
6
Lvl WBS
Activity
3
1.2.3
Develop Corrective
Action Plan (CAP)
3
1.2.4
3
1.2.5
3
1.2.6
3
1.2.7
2
1.3
3
1.3.1
3
1.3.2
3
1.3.3
3
1.3.4
3
1.3.5
3
1.3.6
Description
Assessor develops Corrective Action Plan
(CAP) for the observation. Recommended
to use the 8-Step problem solving
methodology to develop the CAP (scaled
to observation)
Approve Corrective Reviewer/ Supervisor reviews the
Action Plan (CAP) supporting documentation and approves
the CAP
Execute Corrective Assessor executes Corrective Action Plan
Action Plan (CAP) to completion and reports to the
Reviewer/Supervisor. Recommend linking
to electronic records management (ERM)
for documentation.
Monitor CAP to
Reviewer/ Supervisor monitors CAP to
closure
closure and closes observation in MICT
Reports observation 2-Ltr USAP manager runs a observation
closure to Center
report in MICT on open observations and
SAP manager
sends to the Center SAP manager
quarterly
Conduct Data
Analysis
Performs trend
Center SAP manager performs trend
analysis on BOS
analysis on BOS checklists, provides
checklists
feedback to 2-Ltr USAP managers,
checklists owners and revises BOS
checklist recommendation
Perform trend
Functionals pull reports from MICT and
analysis on
perform trend analysis on functional
functional
checklists that were completed across
checklists
AFLCMC. Provide feedback to 2-Ltr
USAP managers, checklists owners and
revise yearly functional checklist
recommendation
Out-brief Center
Out-brief Center Senior Functional
Senior Functional
Notify MAJCOM
FAM of checklist
analysis
AFLCMC advise
Directors/USAP
manager on BOS
checklists
Advise PEO/
Execution
Directorates of
functional
checklists to run
Notify MAJCOM FAM of checklist
analysis and recommended changes to
checklists.
Email from Center SAP manager with
base operating support (BOS) (crosscutting) checklists approved by AFLCMC.
This activity may be performed as a result
of BOS checklist trend analysis.
Each 2-Ltr Functional advises all
PEO/Execution USAP managers and
organizational senior functionals (OSFs)
of what functional checklists to run and at
what level they should be run.
OPR
Duration
Assessor
Reviewer/
Supervisor
Assessor
Reviewer/
Supervisor
2-Ltr USAP
manager
3 Months
Center SAP
manager
Functional 2Ltr USAP
managers
Functional 2Ltr USAP
managers
AFLCMC/XP
2-Ltr
Functional
USAP
managers
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5.0. Measurement. Three metrics will be reported for the SAP process: unit assessments 100%
complete by 31 December; number of MICT observations open; and number of days
observations are open. All measurements are reported at 2-letter level.
5.1. Annual unit assessments 100% completion by 31 December each year. USAP
managers will initiate SA review cycle per their directorate’s instructions. The SA
will have the flexibility to run checklists as their workload and mission dictate as long
as each checklist is run once every 12 months. The SA for each cycle will end on 31
December. To be complete all checklists will need to be run in the last 9 months.
Once the SA is complete for the unit, USAP managers will complete the Completion
Report Memo signed by the Commander/Director of the unit and upload it to the
AFLCMC CCIP/Self-Assessment Program site USAP Completion Report Memos
folder in the month of December.
5.2. Number of MICT observations per unit and average number of days observations are
open will be reported to their Commander/Director and to the Center SAP Manager
quarterly. Two-letter USAP managers upload the data quarterly to the following
folder: USAP Process Reports. This data can be pulled from a MICT report, under
the “Reports” tab in MICT, select “Inspection”, and then either the “Unit
Compliance” or the “Commander Compliance” for the unit. Both numbers can be
pulled from the same report.
6.0. Roles and Responsibilities.
6.1. Center SAP Manager (AFLCMC/XP)
6.1.1. Will manage the SAP for the Center.
6.1.2. Will ensure AFLCMC conducts an annual self-assessment ending on the last
day of December, to meet AFMC’s annual self-assessment requirements.
Note: Financial Management (FM) must perform self-assessment every 6
months (May/November) to meet semi-annual requirements, using their AFMC
FM functional processes. Contracting (AFLCMC/PK) must perform selfassessment annually to meet functional requirements using their AFMC/PK
functional checklist.
6.1.3. Will brief AFLCMC/CC and senior staff at an internal meeting established by
AFLCMC/DS on the SAP and associated performance measurements.
6.1.4. Will provide Center SAP training to the 2-letter USAP Managers and ensure
they have the correct permissions in MICT.
6.1.5. Will perform trend analysis on BOS checklists for the Center and revise BOS
list yearly. Additional information is included in the AFLCMC Business
Rules.
6.1.6. Will submit an approved Center Self-Assessment Program Report by email to
the Command Self-Assessment Program Manager confirming completion of
annual self-assessment in January each year.
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6.2. USAP Managers for Directorates/Group/Wing (AFLCMC/XX, 66 ABG, 88 ABW)
6.2.1. Will have at a minimum a primary and an alternate on appointment letter filed
with AFLCMC/XP (See appointment letter template).
6.2.2. Will manage the USAP for their Directorate/Group/Wing and will notify a
specific unit to start annual SA.
6.2.3. Will have completed MICT administrative training and Center USAP training
within 90 days of being appointed.
6.2.4. Will manage MICT units to organization hierarchy chart within MICT.
6.2.5. Will ensure annual assessments are conducted in MICT on the entire unit
(including GSUs) and presented to the commander/director of the inspected unit.
6.2.6. Will attend Center team meetings and be responsible for distributing
information across their organization.
6.2.7. Will be responsible for getting all users trained within their organization to
include supervisors, monitors and assessors at all their locations. Note:
Functionals within Directorates will be trained by the 2-Ltr USAP manager of
the Directorate.
6.2.8. Will attach POC to workcenters and grants appropriate permissions in MICT.
6.2.9. Will ensure self-assessment includes all relevant checklists. Note: Checklists
are strictly an aid for self-assessments. Members must continue to be
compliant with regulatory guidance/instructions.
6.2.10. Will monitor USAP assessors throughout the year through in/out processing
checklist and remove permissions in MICT when they out process.
6.2.11. At a minimum, each directorate (2-Ltr) should have at least one POC trained
in 8-Step Problem Solving and RCA for support correcting observations.
Note: Divisions are encouraged to have additional personnel trained in 8-Step
Problem Solving and RCA.
6.3.
Functional Directorates
6.3.1. Functional directorate 2-ltr managers will advise all PEO/Execution USAP
managers and OSFs on the functional checklists to run each year and the level the
checklists should be run.
6.3.2. Center functional directorate 2-ltr managers will pull reports from MICT and
perform trend analysis on functional checklists completed across AFLCMC, will
out-brief Center Senior Functionals, and will provide recommendation to the
MAJCOM FAMs.
6.4. Assessor / Checklist Owner
6.4.1. Complete checklist questions in MICT
6.4.1.1. All questions require a yes, no, or non-applicable (n/a).
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6.4.1.2. Provide supporting comments for all questions in the note section. In
addition to the supporting comments you may do one of the following:
6.4.1.2.1. Provide a link to supporting documentation in the folder.
Note: This is the preferred method for supporting
documentation. It also enables you to edit and delete.
6.4.1.2.2. Upload supporting documentation to folder. Note: Once
uploaded you may archive, but not delete or edit.
6.4.1.2.3. Describe where the supporting documentation is located in
the note section or upload a document. Note: Once
uploaded you may archive, but not delete or edit.
6.4.1.3. Identify and resolve observations
6.4.1.3.1. Checklist questions answered “no” will become a
observation. Observation resolution requires RCA and
CAP.
6.4.1.4. Out-of-Cycle Assessment.
6.4.1.4.1. Occurs when Assessor/checklist owner is notified by
email the checklist assigned to them has been changed by
the Functional Area Manager (FAM).
6.4.1.4.2. Assessors/checklist owners will have 90 days to run their
updated checklist in MICT.
6.4.1.4.3. All previous checklist artifacts will stay attached and
assessor will be required to answer the questions that
changed.
6.4.1.4.4. Checklist will change to the new assessment date.
6.5. Reviewer/Supervisor
6.5.1. Reviewer/Supervisor role is designated in MICT at the division/squadron level
or lower and must be either a military or civilian personnel.
6.5.2. Review and close checklists.
6.5.3. Approve CAPs.
6.5.4. Close observations.
6.6. Commanders/Directors
6.6.1. Will designate primary and alternate 2-Ltr USAP Managers using the
appointment letter template.
6.6.2. Will sign assessment closure letter confirming the completion of the annual
self-assessment.
6.6.3. Will review CAPs depending on the tier and observation level.
6.6.3.1. Tier 1 – Non-compliance puts Airmen, Commanders, or the USAF
at risk of mission or program failure, injury, legal jeopardy or
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unacceptable waste. For observations in Tier 1, with a observation
level of significant or critical, the CAP will be reviewed by a
Commander/Director.
6.6.3.2. Tier 2 – Non-compliance degrades mission or program effectiveness
or efficiency, and has potential, if not corrected, to create risk of
mission or program failure, injury, legal jeopardy or unacceptable
waste. For observations in Tier 2, with a observation level of
significant or critical, the CAP will be reviewed at the
squadron/division or equivalent level.
6.6.3.3. Tier 3 – Non-compliance limits mission or program effectiveness or
efficiency. For observations in Tier 3 with any observation level the
CAP should be reviewed at the Squadron/Division/Flight/ Branch or
equivalent level.
7.0. Tools.
7.1. Management Internal Control Toolset (MICT) – A web-based, automated SelfAssessment Program for accessing SA checklists from the repository within MICT.
MICT is a force multiplying tool that reports, tracks, validates, trends, observations,
and corrective actions. MICT is Air Force approved software that will be used by all
AF units running Self-Assessment Checklists (SACs). URL: https://mict.us.af.mil/ .
7.2. SharePoint. The AFLCMC CCIP / Self-Assessment Program work guidance is
located at the following SharePoint site:
https://org4.eis.afmc.af.mil/sites/1604/sip/default.aspx
8.0. Training.
8.1. MICT Administrative training will be computer based training (CBT) and should be
available by July 2013. This training is for those users that will be assigning POCs
and setting permissions. Training slides are available on the MICT Customer Support
Communities of Practice (CoP).
8.2. The 8-Step Processing and the RCA is Air Force approved training for solving
observations and creating CAPs. This training is offered through base education
offices at many locations and may also be found in the MICT Customer Support CoP.
9.0. Definitions, Guiding Principles and/or Ground Rules & Assumptions.
9.1. “Unit” is defined as 88 ABW, 66 ABG, and Directorates.
9.2. USAP is a leader’s tool to enable and strengthen effectiveness and efficiency.
9.3. Self-assessment motivates and promotes civilian/military discipline, improves unit
performance, and management excellence up and down the chain of command.
9.4. Self-assessment identifies issues interfering with effectiveness, efficiency,
compliance, discipline, readiness, performance, surety and management excellence.
9.5. USAP allows Commanders to discover specific strengths and innovative practices of
individuals, teams or units that promote greater efficiencies, which are candidates for
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widespread benefits.
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10.0. References to Law, Policy, Instructions or Guidance.
10.1. Air Force Guidance Memorandum to AFI 90-201 AFGM3, 13 Feb 2013, The Air
Force Inspection System. In advance of a rewrite of AFI 90-201, this memorandum
provides new guidance and procedures for implementation of the new Air Force
Inspection System.
10.2. Management Internal Control Toolset, MICT Customer Support CoP:
https://afkm.wpafb.af.mil/community/views/home.aspx?Filter=25432
Attachment 1 – WBS Excel File
MS Excel SAP WBS
Attachment 2 – USAP Business Rules
AFLCMC USAP
Business Rules
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